General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1963 |
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Página ix
... beneficial ownership ......... . 16a - 4 . Exemptions from sections 16 ( a ) and 16 ( b ) ...... . 16a - 5 . Exemption from section 16 of securities purchased or sold by odd - lot dealers ... - 16a - 6 . Certain transactions subject to ...
... beneficial ownership ......... . 16a - 4 . Exemptions from sections 16 ( a ) and 16 ( b ) ...... . 16a - 5 . Exemption from section 16 of securities purchased or sold by odd - lot dealers ... - 16a - 6 . Certain transactions subject to ...
Página 10
... beneficial interest , any security which is the subject of such distribution , or any security of the same class and series , or any right to purchase any such security , or to attempt to in- duce any person to purchase any such ...
... beneficial interest , any security which is the subject of such distribution , or any security of the same class and series , or any right to purchase any such security , or to attempt to in- duce any person to purchase any such ...
Página 14
... beneficially on the record date for the rights or acquired through the exercise of rights issued in respect of securities 30 owned . ( d ) The conditions of subparagraphs ( A ) through ( G ) of this paragraph ( d ) shall apply to all ...
... beneficially on the record date for the rights or acquired through the exercise of rights issued in respect of securities 30 owned . ( d ) The conditions of subparagraphs ( A ) through ( G ) of this paragraph ( d ) shall apply to all ...
Página 22
... beneficial owner of 10 percent or more of any class of equity securities , ( 2 ) any trust or other estate in which such person has a substantial beneficial interest or as to which such person serves as trustee or in a similar fiduci ...
... beneficial owner of 10 percent or more of any class of equity securities , ( 2 ) any trust or other estate in which such person has a substantial beneficial interest or as to which such person serves as trustee or in a similar fiduci ...
Página 33
... beneficial owner of more than 10 percent of such unlisted security : Provided , That such person is neither a director or officer of the issuer thereof nor directly or indirectly the beneficial owner of more than 10 percent of any class ...
... beneficial owner of more than 10 percent of such unlisted security : Provided , That such person is neither a director or officer of the issuer thereof nor directly or indirectly the beneficial owner of more than 10 percent of any class ...
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Términos y frases comunes
amendment amount annual report application for registration application or report appropriate becomes effective behalf beneficial owner broker or dealer business day cation certificates Commission curities deemed device or contrivance directly or indirectly director or officer distribution document effective date employees equity security exempt security filed pursuant financial statements fiscal form of proxy furnish hypothecation indebtedness Investment Company Act issuer lien listed and registered loan market value ment national securities ex national securities exchange operation of section options otherwise paragraph participant period person prior promptly proxy statement pursuant to Rule pursuant to section record registration statement reports pursuant restricted stock section 16 Securities Act securities association securities carried security holders specified stock option suant subordination agreement subparagraph subsidiary syndicate or group term thereto tion transaction trust unless unlisted trading privileges vote voting trust warrants or rights